MML INVESTORS SERVICES LLC.

05/16/2023: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO.2020065534802 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC (Respondent) Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216, Respondent MML Investors Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2020065534802data-portal.finra.orgfinra.org

06/17/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO.20090194999-01 TO: Department of Market Regulation Financial Industry Regulatory Authority ("FINRA") RE: MML Investors Services, LLC, Respondent Broker-Dealer CRD No. 10409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, MML Investors Services, LLC (formerly known as MML Investors Services, Inc.) (the "firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of

Reference 2009019499901data-portal.finra.orgfinra.org

11/16/2011: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2010020873501 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MML Investors Services, LLC, Respondent Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule

Reference 2010020873501data-portal.finra.orgfinra.org

11/15/2016: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2016049185701 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MML Investors Services, LLC Respondent CRD No. 10409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, MML Investors Services, LLC ("MMLIS" or the "Firm") submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2016049185701data-portal.finra.orgfinra.org

03/20/2020: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2017056520301 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC, Respondent Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondent MML Investors Services, LLC ("MML" or the "Firm"), submits this Letter of Acceptance, Waiver and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is

Reference 2017056520301data-portal.finra.orgfinra.org

11/19/2024: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2021071346101 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC (Respondent) Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216, Respondent MML Investors Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that, if accepted, FINRA will not bring any future actions against Respondent alleging violations based on the same factual findings described in this AWC.

Reference 2021071346101data-portal.finra.orgfinra.org

08/21/2013: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT NO. 2009017118601 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MML investors Services, LLC ("MMLISI" or the "Firm") (CRD No. 10409) Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, MMLISI submits this Letter of Acceptance, Waiver and Consent ("AWC") for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that

Reference 2009017118601data-portal.finra.orgfinra.org

12/20/2021: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER, AND CONSENT NO. 2019062530501 TO: Department of Enforcement Financial Industry Regulatory Authority (FINRA) RE: MML Investors Services, LLC (Respondent) Member Firm CRD No. 10409 Pursuant to FINRA Rule 9216, Respondent MML Investors Services, LLC submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below. This AWC is submitted on the condition that,

Reference 2019062530501data-portal.finra.orgfinra.org

06/30/2017: FINANCIAL INDUSTRY REGULATORY AUTHORITY LETTER OF ACCEPTANCE, WAIVER AND CONSENT No. 2016052647801 TO: Department of Enforcement Financial Industry Regulatory Authority ("FINRA") RE: MML Investors Services, LLC CRD No. 10409 MML Distributors, LLC CRD No. 38030 MML Strategic Distributors, LLC CRD No. 168638 Oppenheimer Funds Distributor, Inc. CRD No. 7834 Pursuant to FINRA Rule 9216 of FINRA's Code of Procedure, Respondents MML Investors Services, LLC ("MMLIS"), MML Distributors, LLC ("MMLD"), MML

Reference 2016052647801data-portal.finra.orgfinra.org